Overview
Shauna West is a paralegal in the investment management practice group, where she assists attorneys and clients with investment adviser registrations and National Futures Association registrations, as well as compliance matters once registered, Securities and Exchange Commission (SEC) filings, Regulation D offerings, and Blue Sky matters. Shauna also assists attorneys in the formation, qualification and dissolution of all forms of entities.
Compliance Matters
Shauna works with clients to help ensure compliance with the regulatory requirements imposed on issuers, investment advisers and National Futures Association members.
SEC Filings
Shauna works with clients to set up filings accounts with the SEC for issuers, individuals and entities, and also assists with the filings imposed by the SEC on issuers, individuals and entities, including filings imposed on investment advisers.
Personal Interests
Shauna enjoys spending time with family and her dog, and also enjoys travel, fine dining, concerts and the theatre.